Purpose of the role:
To assist the Compliance function in the provision of compliance support to regulated clients.
Responsibilities:
- Working closely with the R&Compliance Officer to ensure effective compliance services are provided to clients
- Acting/be prepared to work towards appointment as Compliance Officer and Money Laundering Compliance Officer
- General day-to-day oversight of client compliance matters and corresponding with the JFSC as appropriate
- Overseeing and managing Compliance Monitoring Plans, Business Risk Assessments, and relevant policies and procedures
- Preparing compliance reports for clients, including the escalation and tracking of any findings
- Acting as a compliance representative at client Board meetings as and when required
- Provision of support and guidance to clients on applicable regulatory and AML issues
Skills required:
- Previous experience in a Senior Compliance role or position with equivalent responsibilities
- Professional Compliance Qualification at Diploma level preferable, but not necessarily subject to relevant experience
- To have an attitude that inspires respect and to be capable of taking the lead
- A high level of tact, diplomacy and confidentiality is essential due to the nature of the work
- Ability to be proactive with very close attention to detail to ensure work is of a consistently high standard